Trade Surveillance Representative

Salary: From £29,200

interactive investor is an award-winning investment platform that puts its customers in control of their financial future.

We’ve been helping investors for nearly 30 years. We’ve seen market highs and lows and been resilient throughout. We’re now the UK’s number one flat-fee investment platform, with assets under administration approaching £75 billion and over 500,000 customers.

For a simple, flat monthly fee we provide a secure home for your pensions, ISAs and investments. We offer a wide choice of over 20,000 UK and international investment options, including shares, funds, trusts and ETFs.

We also bring impartial, expert content from our award-winning financial journalists, highly engaged community of investors, and daily newsletters and insights.

We are recruiting for a Trade Surveillance Representative to join the Operations Risk & Control team. The role is responsible for overseeing trading activity across market counter parties and venues, helping to ensure trades are executed in line with regulatory obligations, internal risk standards, and best execution requirements.

Working within the first line of defence, the role plays an important part in protecting market integrity, identifying potential risks, and maintaining a well-controlled trading environment.

• Resolve trade disputes and exceptions, taking a fact-based approach to root cause analysis and driving timely resolution.
• Monitor trading activity to support best execution across equities, fixed income, and international markets.
• Maintain the governance and ongoing integrity of the firm’s stock and fund universe, ensuring securities are appropriately reviewed, controlled, and aligned to regulatory expectations and customer outcomes
• Identify potential market abuse risks through proactive surveillance and escape suspicious activity in line with regulatory expectations
• Conduct due diligence on new securities and obtain approval prior to platform onboarding.
• Escalate trade-related risks promptly, mitigating potential impact to the business and clients.
• Compliance with and adherence to Operations Risk and Control procedures at all times.
• Support quality assurance activity across key operational processes
• Exercise due skill, care and diligence, observe proper standards of market conduct (MAR) and deal with the regulator in an open and co-operative way. In doing so achieve the standards and principles defined in the Fit and Proper Test for Approved Persons (FIT).
• Remain familiar with business continuity arrangements and support operational resilience where required.
• Ability to move between tasks and departments as business needs require
• Maintain regulatory competence through ongoing training and adherence to the firm’s Training & Competence framework.

• CISI Level 3 qualified (or willing to obtain), or equivalent industry qualification.
• Experience with in stockbroking, investment banking, or a trading environment.
• Strong understanding of trade lifecycle processes across domestic and international markets.
• Working knowledge of the regulatory framework relating to trading supervision, market conduct, and controls.
• Strong analytical skills with excellent attention to detail.
• Confident communicator with the ability to challenge appropriately.
• Effective decision maker, particularly in time-sensitive situations.
• Excellent numeracy skills.
• Collaborative team player with a proactive approach to problem solving.
• Able to remain calm under pressure and manage competing priorities.

• Clear communicator
• Strong team player
• Demonstrated passion and drive for delivering the best outcome
• Moving with speed – delivering faster and better
• Decisive and take ownership of outcomes
• Not afraid to challenge and be open to challenges

• Group Personal Pension Plan– 8% employer contribution and 4% employee contribution
• Life Assurance and Group Income Protection
• Private Medical Insurance– Provided by Bupa
• 25 Days Annual Leave, plus bank holidays
• Staff Discounts on our investment products
• Personal & Well-being Fund– Supporting your physical and mental wellness
• Retail Discounts– Savings at a…